Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.1 CHAPTER 5310. COMMUNITY RESIDENTIAL REHABILITATION SERVICES FOR THE MENTALLY ILL Subchap. Sec. A. GENERAL PROVISIONS... 5310.1 B. ADULT SERVICES... 5310.11 C. CHILDREN SERVICES... 5310.91 Source The provisions of this Chapter 5310 adopted May 7, 1982, effective May 8, 1982, 12 Pa.B. 1485, unless otherwise noted. This Chapter cited in 28 Pa. Code 709.21 (relating to applicability); 55 Pa. Code 51.14 (relating to residential habilitation service providers); 55 Pa. Code 51.20 (relating to criminal history checks); 55 Pa. Code 51.22 (relating to provisional hiring); 55 Pa. Code 3800.3 (relating to exemptions); 55 Pa. Code 3800.56 (relating to exceptions for staff qualifications); and 55 Pa. Code 6000.1003 (relating to definitions). Sec. 5310.1. Legal base. 5310.2. Policy. 5310.3. Applicability. 5310.4. Certification of compliance. 5310.5. Waiver of standards. 5310.6. Definitions. Subchapter A. GENERAL PROVISIONS 5310.1. Legal base. The legal base for this chapter is Article IX of the Public Welfare Code (62 P. S. 901 922). 5310.2. Policy. (a) Community Residential Rehabilitation Services (CRRS) are specifically designed and operated to assist persons with chronic psychiatric disability to live as independently as possible through the provision of training and assistance in the skills of community living and by serving as an integrating focus for the person s rehabilitation. CRRS are defined, regulated and operated to implement the principle of least restrictive service alternative. An individual shall be served by CRRS only for so long as the services are consistent with his need for services. (b) The CRRS can exist only in a system of services for their clientele and cannot function without ties to other service providers. Rehabilitation of severely psychiatrically disabled individuals requires many and diverse services: CRRS have as their part in the process the development of the clients skills for independent living and for community participation while more general social and vocational skills are developed and treatment occurs. CRRS have an obligation to work cooperatively with other service agencies and with local coordinating and (361587) No. 454 Aug. 12 5310-1
55 5310.3 MENTAL HEALTH MANUAL Pt. VII planning groups toward the development and operation of a comprehensive service system which can meet the needs of chronically mentally ill persons in a continuous, timely and coordinated manner. (c) The CRRS have the following essential characteristics: (1) A homelike, noninstitutional environment providing maximum opportunity to learn the skills necessary for more independent living. (2) A residential setting providing each client with maximum possible autonomy, independence and self-determination. (3) A program which constantly strives to enable clients to move to less restrictive living settings. (4) Responsible staff to support and assist the client as needed in his movement to independence. (5) Well-developed cooperative efforts with other agencies in the service delivery system to ensure coordinated, continuous and effective services for the rehabilitation of clients. (d) This chapter prescribes standards for certification to operate Mental Health Community Residential Rehabilitation Services in this Commonwealth. Funding through the County Mental Health/Mental Retardation (MH/MR) program may be provided for the establishment and operation of CRRS. This chapter is not intended to confer eligibility for County MH/MR funding although the issuance of a certificate of compliance under this chapter and Chapter 20 (relating to licensure or approval of facilities and agencies) does constitute one condition of eligibility for the funding. Notes of Decisions Use of community apartment building to house chronic psychiatric patients, where clients lived independently in apartment units, would not change legal nonconforming use of building so as to make it violative of zoning ordinance. Markley v. Carlisle Zoning Hearing Board, 527 A.2d 595 (Pa. Cmwlth. 1987). 5310.3. Applicability. (a) This chapter applies to providers of full-care or partial-care community residential rehabilitation services, or both, as defined in 5310.6 (relating to definitions). (b) This chapter does not apply to child residential facilities which serve exclusively children, which are governed by Chapter 3800 (relating to child residential and day treatment facilities). (c) This chapter applies to host homes serving one or more children. Authority The provisions of this 5310.3 amended under Articles IX and X of the Public Welfare Code (62 P. S. 901 922 and 1001 1080). 5310-2 (361588) No. 453 Aug. 12 Copyright 2012 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.4 Source The provisions of this 5310.3 amended June 25, 1999, effective October 26, 1999, 29 Pa.B. 3295. Immediately preceding text appears at serial page (211920). 5310.4. Certification of compliance. Each provider of community residential rehabilitation services (CRRS) shall apply for a certificate of compliance in accordance with Chapter 20 (relating to licensure or approval of facilities and agencies). The certificate of compliance specifies the level of care for which the provider is approved. 5310.5. Waiver of standards. (a) Where the development of community residential rehabilitation services (CRRS) is severely limited by this chapter, a waiver may be granted for a particular section for a period of 6 months and may be renewed three times. Waivers will be applied only in areas where the need for the services and the attempts to meet the standards of this chapter are adequately documented. Waivers are granted by the Office of Mental Health only in exceptional circumstances. (b) In the case of CRRS sites in operation prior to the adoption of this chapter a permanent waiver may be granted to the requirements of 5310.73(e)(2) (7) (relating to physical plant requirements), provided the application in writing is made within 90 days of the effective date of these standards. (c) A waiver request must meet all three conditions: (1) The request with adequate justification is submitted as required by Chapter 20 (relating to licensure or approval of facilities and agencies). (2) The request does not represent a danger to the health, safety or wellbeing of the client. (3) The request complies with the intent of the provision to be waived. 5310.6. Definitions. The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise: CRRS Community residential rehabilitation services Transitional residential programs in community settings for persons with chronic psychiatric disability. CRRS s provide housing, personal assistance and psychosocial rehabilitation to clients in nonmedical settings. There are two levels of care, full or partial, which are distinguished by the level of functioning of the clients served and the intensity of rehabilitation and training services provided by CRRS staff to the clients. In both levels of care, the provider acts as landlord to the client. Except host homes for children, every site used by a CRRS to house clients is owned, held, leased or controlled by the provider or a provider-affiliate. Child A person who is under 18 years of age and who is not an emancipated minor. (257637) No. 298 Sep. 99 5310-3
55 5310.6 MENTAL HEALTH MANUAL Pt. VII Full-care CRRS for adults A program that provides living accommodations for the client with staff onsite whenever a client is there and a full range of personal assistance and psychosocial rehabilitation for psychiatrically disabled adults who display severe community adjustment problems and who require an intensive, structured living situation. Full-care CRRS for children A program providing living accommodations with maximum supervision, personal assistance and a full range of psychosocial rehabilitation services for psychiatrically disabled children who display severe interpersonal adjustment problems and who require an intensive, structured living situation. Host home for children A private residence of a family, other than the home of the child s parents, with whom the CRRS contracts to provide a structured living arrangement for one to three children. Mental disorder Conditions classified as mental disorders by the International Classification of Diseases (ICD-9-CM) excluding mental retardation and drug/alcohol conditions. Mental health professional A person trained in a generally recognized clinical discipline, including, but not limited to, psychiatry, social work, psychology, nursing, rehabilitation, special education or activity therapies who has a graduate degree and clinical experience. Mobile ambulatory Able to walk without assistance. Mobile nonambulatory The ability to move from place to place with the use of devices such as walkers, crutches, wheelchairs, wheeled platforms, and the like, by a person who is otherwise unable to walk independently. Parent The mother or father by birth or adoption or the legal guardian of the child. Partial-care CRRS A program that provides living accommodations for the client. Staff is at the site on a regularly scheduled basis including evenings and weekends. A limited range of personal assistance and psychosocial services are provided for psychiatrically disabled adults who display community adjustment problems and require a living situation which includes rehabilitation and training services. Authority The provisions of this 5310.6 amended under Articles IX and X of the Public Welfare Code (62 P. S. 901 922 and 1001 1080). Source The provisions of this 5310.6 amended June 25, 1999, effective October 26, 1999, 29 Pa.B. 3295. Immediately preceding text appears at serial pages (211921) to (211922). This section cited in 55 Pa. Code 5310.3 (relating to applicability). 5310-4 (257638) No. 298 Sep. 99 Copyright 1999 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 Subchapter B. ADULT SERVICES GENERAL PROVISIONS Sec. 5310.11. Governing body. 5310.12. Policies and procedures manual. 5310.13. Administrative records and reports. 5310.14. Personnel management. 5310.21. Client characteristics. CLIENT CHARACTERISTICS (257639) No. 298 Sep. 99 5310-4.1
5310-4.2 (257640) No. 298 Sep. 99 Copyright 1999 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 SERVICES MANAGEMENT 5310.31. Program description. 5310.32. Intake. 5310.33. Residential service plan. 5310.34. Service agreement. 5310.35. Termination from program. 5310.36. Provider review of services management. 5310.37. Program closure. 5310.38. Notification in case of client emergency. 5310.39. Service linkages. 5310.41. Staffing and training. STAFFING 5310.51. Case record. 5310.52. Confidentiality. CLIENT RECORDS CLIENT RIGHTS 5310.61. Nondiscrimination. 5310.62. Client rights in residence. 5310.63. Violation of client rights. 5310.64. Client right to inspect client record. 5310.65. Client right to compensation for work. 5310.71. Site control. 5310.72. Safety procedures. 5310.73. Physical plant requirements. PHYSICAL FACILITIES STANDARDS 5310.81. Medication. 5310.82. Nutrition. DIET AND MEDICATION (381733) No. 502 Sep. 16 5310-5
55 5310.11 MENTAL HEALTH MANUAL Pt. VII GENERAL PROVISIONS 5310.11. Governing body. (a) Community residential rehabilitation services (CRRS) shall be provided by corporations or governmental entities. (b) CRRS providers shall establish a governing body which has legal responsibility for the CRRS. (c) The governing body shall adopt written policies for its own operation which include: (1) Qualifications and methods of selection for governing body membership. (2) Frequency of governing body meetings. (3) Procedures for conducting governing body business. (4) Provisions for disclosure by governing body members of all conditions which may create a conflict of interest and procedures for dealing with conflict of interest situations. (d) The governing body shall: (1) Select a director who shall supervise the CRRS in accordance with the policies established by the governing body and who shall be officially responsible to the governing body. (2) Conduct an annual review and evaluation of the CRRS program activities, policies and procedures manual, program goals and objectives, and make any adjustments that are needed. (3) Assure insurance coverage is in effect to the extent deemed necessary by the governing body to protect the governing body, staff, clients, and property of the CRRS and to meet the requirements of State and Federal law. (4) Adopt written policies for guiding the operation of the CRRS which must include: (i) Program goals and objectives, including measurable anticipated outcomes. (ii) Program organizational structure. (iii) Administration of funds to meet written goals of the program. (iv) Review and approval of the annual budget and any modifications. (v) Personnel policies and any modifications. (vi) Client grievance procedure, which guarantees a written response to the client by the CRRS. (5) Review all reported instances of violations of client rights in the CRRS and report the results of the review to the County Mental Health/Mental Retardation (MH/MR) Office. This section cited in 55 Pa. Code 5310.62 (relating to client rights in residence); 55 Pa. Code 5310.101 (relating to governing body); and 55 Pa. Code 6000.1003 (relating to definitions). 5310-6 (381734) No. 502 Sep. 16 Copyright 2016 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.12 5310.12. Policies and procedures manual. The director shall assure that a manual of community residential rehabilitation service (CRRS) policies and procedures is compiled and updated. The manual must provide an operations guide for the CRRS in implementing policies established by the governing body and this chapter. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children). 5310.13. Administrative records and reports. The director shall assure that administrative records and reports are established, maintained, and retained to guide the operations and reflect the programs of the community residential rehabilitation service (CRRS) and to demonstrate compliance with this chapter and other applicable statutes. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children). 5310.14. Personnel Management. (a) The community residential rehabilitation service (CRRS) must establish and implement written personnel policies and procedures which cover: (1) Recruitment, selection, and promotion of staff. (2) Utilization of volunteers and students, if applicable. (3) Wage and salary administration. (4) Employe benefits. (5) Working hours. (6) Disciplinary procedures. (7) Table of organization. (8) Performance evaluation. (9) Employe accidents and safety. (10) Agency mechanisms for staff development through in-service and outservice training and professional consultation. (11) Assurance of nondiscrimination in personnel practice on the basis of age, race, color, religious creed, sex, national origin, ancestry, handicap, union membership, or high school equivalency. (12) A civil rights complaint procedure. (b) Personnel policies must be compiled, updated, and made available to all staff. (c) Written job descriptions must be established and maintained for all positions and must include: (1) Job title. (211925) No. 258 May 96 5310-7
55 5310.21 MENTAL HEALTH MANUAL Pt. VII (2) Tasks and responsibilities of the job. (3) Qualifications. (4) Title of the supervisor. (5) Title of subordinates, if any. (d) Each staff member must be provided with a copy of his job description at the time of hiring and whenever the job description is changed. (e) Each staff member is required to have a physical examination within 6 months prior to employment and every 2 years thereafter. (1) The examination report must include screening for tuberculosis and other communicable diseases, a statement from the physician that the staff member has no contagious diseases, and information on any medical problems which might interfere with the health of the clients. (2) Written policies must ensure that employes with symptoms or signs of communicable diseases are not permitted to work without authorization from the physician. (f) When a CRRS uses volunteers or students, or both, in its operation, written policies and procedures for volunteers or students, or both, must be developed and provided to the volunteers/students and to staff. (g) Each volunteer/student must be assigned a staff supervisor and must have the qualifications required for the tasks/activities assigned. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving child) and in 55 Pa. Code 5310.102 (relating to personnel management). CLIENT CHARACTERISTICS 5310.21. Client characteristics. (a) A client placed in community residential rehabilitation service (CRRS) must: (1) Be 18 years or older, or be an emancipated minor, unless the CRRS is operated under Subchapter C (relating to children services). (2) Be psychiatrically disabled; as specified in 5310.32(c)(1) (relating to intake). (3) Have demonstrated, over a period of time, social maladjustment which prevents the client from living independently in the community. (4) Have difficulties in social or personal adjustment associated with psychiatric disability, as demonstrated in reduced, lost or underdeveloped capacity for establishing and sustaining appropriate interpersonal relationships or for making and implementing decisions necessary for self-care and independent living. 5310-8 (211926) No. 258 May 96 Copyright 1996 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.31 (5) Be capable of self-preservation, according to the criteria established in 5310.32(e). (b) A client placed in CRRS may: (1) Have additional handicaps provided the individual meets one of the criteria for self-preservation established in 5310.32(e) (relating to intake). (2) Need special diet or medication supervision, provided that the client does not need 24-hour nursing or medical care. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children) and 55 Pa. Code 5310.111 (relating to client characteristics). SERVICES MANAGEMENT 5310.31. Program description. The community residential rehabilitation service (CRRS) must have a written program description which includes the following items: (1) Written functional criteria for client enrollment and termination. (2) Services to be provided in the residential program including: (i) Housing. (ii) Personal assistance, such as arrangements for meeting the nutritional needs of clients, assistance with medication, and developing self-care skills. (iii) Psychosocial rehabilitation services to develop inter-personal and community living skills. (3) Methods which will be used in delivering the services, such as individual goal planning, goal attainment scaling, classroom situations, individual instruction, counseling, group meetings, establishing social support network, task schedules, and the use of generic services. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.121 (relating to program description). 5310.32. Intake. (a) There must be written policies and procedures for intake and all intake must be accomplished in accordance with those policies and procedures. (b) The community residential rehabilitation service (CRRS) staff, during intake, shall review with the client the criteria for program enrollment and program termination, the services offered by the CRRS and the responsibilities of the client and the CRRS. (211927) No. 258 May 96 5310-9
55 5310.32 MENTAL HEALTH MANUAL Pt. VII (c) The CRRS staff shall obtain the following information about each client prior to the client s enrollment in the CRRS. (1) Mental health information, including mental health history and evidence of psychiatric disability which is a certification of mental disorder dated not more than 1 year prior to client s planned enrollment. (2) A health appraisal signed by a licensed physician, which includes: (i) A review of health history. (ii) A complete physical examination dated not more than 6 months prior to client s enrollment. (iii) Drug or alcohol history. (iv) Recommendations pertaining to medication and limitations of the client s activities or diet. (v) Recommendations for follow-up by the CRRS in helping the client maintain on-going health care. (d) The intake procedures must include: (1) Psychosocial evaluation as specified in 5310.33(b) (relating to residential service plan). (2) Client orientation to the program. (3) Development of a residential services plan. (4) Preparation of the written provider client agreement as specified in 5310.34 (relating to service agreement). (e) Intake procedures must also include evaluation of the client s capability of self-preservation and client instruction in safety-emergency procedures and evacuation procedures for the site in which the client will live. (1) A client who is mobile ambulatory is considered capable of selfpreservation if he or she is able to vacate the CRRS site promptly following emergency alarms or the onset of fire or other emergency. (2) A client who is mobile ambulatory and capable of self-preservation may be served in full-care or partial-care CRRS. (3) A mobile nonambulatory client is considered capable of selfpreservation if: (i) He is capable of prompt and independent transfer from bed-toambulation device. (ii) The CRRS site to which the client is assigned has no architectural barriers barring the exit path to the outside from the client s bedroom. (4) A client who is mobile nonambulatory and capable of self-preservation may be served in any full-care CRRS or partial-care CRRS site that meets the requirement specified in subsection (e)(3)(ii). (5) A client is considered capable of self-preservation with minimal assistance if the client is able to vacate the CRRS site in which the client lives with no more than verbal instruction or minimal physical help. Verbal assistance means a staff member gives direction to the person in exiting the site. Minimal physical help means a staff member provides assistance in getting to one s feet, 5310-10 (211928) No. 258 May 96 Copyright 1996 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.33 into a wheel chair, walker, or prosthetic device. The client must be able to effectively operate any device required for moving from one place to another, to understand and carry out instructions for exiting the site and to negotiate the exit path independently. A client who because of physical or mental disability or condition is unable to vacate the CRRS site in case of emergency without the continual verbal or physical assistance of staff is not considered capable of self-preservation with minimal assistance. (6) A client who is capable of self-preservation with minimal assistance must be served only in full-care CRRS. (f) Any client whose care is funded by the County Mental Health/Mental Retardation (MH/MR) Program may enter the CRRS program only after authorization from the county administrator or appropriate base service unit. This section cited in 55 Pa. Code 5310.21 (relating to client characteristics); 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation services (CRRS) serving children); and 55 Pa. Code 5310.122 (relating to intake). 5310.33. Residential service plan. (a) The community residential rehabilitation service (CRRS) staff shall develop with each client an individualized written client residential service plan upon the client s enrollment in the CRRS. (b) The individual residential service plan must be based on the client s psychosocial evaluation which is a functional assessment of the client s strengths and needs in the major areas related to independence in residential and community functioning and addresses the client s: (1) Self-care skills. (2) Health care, including medication management. (3) Housekeeping skills. (4) Ability to meet nutritional needs. (5) Mobility. (6) Money management skills. (7) Interpersonal skills. (8) Vocational/educational pursuits. (9) Use of leisure time. (10) Time structuring. (11) Community participation such as social networking and utilization of services and resources. (c) The residential service plan must include the following items: (1) Short and long-term goals for service formulated jointly by the staff and client. (2) Behaviors to be modified and skills to be developed. (3) Type and frequency of rehabilitation services to be provided. (257641) No. 298 Sep. 99 5310-11
55 5310.33 MENTAL HEALTH MANUAL Pt. VII (4) Techniques and methods of service to be used. (5) A list of persons involved in the implementation of the plan. (d) The CRRS staff shall evaluate the client s adjustment to the program within 30 days of enrollment and modify the service plan as needed. The residential service plan must be reviewed and updated every 60 days thereafter. (e) Each client in a CRRS must spend a major portion of his time out of the residence. The goal of such involvement outside the residence is to increase the client s use of community resources and participation in community activities which the client can continue to use upon program termination. The method for achieving this goal must be reflected in each client s residential services plan. (f) The client shall participate in the goal-setting, service planning, decisionmaking and progress assessment associated with the service plan. (g) The original residential service plan, subsequent plan revisions, written plan reviews and documentation of client participation must be included in the client record. (h) At the time of enrollment into CRRS and throughout the service period, each client shall be assigned to a CRRS staff person who is responsible for assuring: (1) In-residence services are provided according to the client s residential service plan. (2) Referrals to and arrangements for service provision by other agencies specified in the client s residential service plan occur and are coordinated with the agency or agencies responsible for treatment/case management of the client, such as the Mental Health/Mental Retardation Base Service Unit, Veterans Administration, Domiciliary Care, and therapist. (3) Case recording of intake information, service plan, progress notes, service plan reviews, annual reassessment, referrals, and termination summary. (i) A complete reassessment of the client s strengths and needs as determined by the psychosocial evaluation and a review of the services provided to the client must be performed annually, or more frequently if a significant change in the client s level of functioning occurs. The reassessment must take place at a conference which includes the persons involved in the individual service plan development and implementation. The results of this meeting must be documented in the case record and submitted in writing to the agency or agencies responsible for treatment and/or case management of the client. Notes of Decisions Confidentiality In prosecution for alleged sexual abuse of a minor who was referred to the care of a mental health care provider and assigned to live in the defendant s home pursuant to a mentor program, the minor s records, such as reports of alleged sexual and physical abuse of minor, individual service plans, psychiatric evaluations, visitation plans, clinical evaluations of the minor, medications prescribed, and notes of the mentor, are not protected by the psychotherapist-patient privilege even though the infor- 5310-12 (257642) No. 298 Sep. 99 Copyright 1999 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.33 mation is sensitive and may be confidential and protected from disclosure under 55 Pa. Code 5310.52 and 5310.142 and perhaps other provisions of the Mental Health Procedures Act, where there is no reference to confidential communications made or information given specifically by the minor. Commonwealth v. Simmons, 719 A.2d 336 (Pa. Super. 1998). This section cited in 55 Pa. Code 5310.32 (relating to intake); 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation services (CRRS) serving children); and 55 Pa. Code 5310.123 (relating to residential service plan). (257643) No. 298 Sep. 99 5310-12.1
5310-12.2 (257644) No. 298 Sep. 99 Copyright 1999 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.34 5310.34. Service agreement. (a) There must be a written agreement between the CRRS provider and the client, which: (1) Is negotiated during the intake process. (2) Is signed by both parties. (3) Specifies the arrangements and charges for housing and food. (4) Specifies the goals to be achieved and services to be provided. (5) Specifies the rights and responsibilities of the client. (6) Includes a copy of the CRRS house rules, client rights, client grievance procedures, and termination policy. (7) Specifies any liability for the cost of services other than room and board. (8) Is updated and signed again whenever any of the terms change. This section cited in 55 Pa. Code 5310.32 (relating to intake); 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation services (CRRS) serving children); and 55 Pa. Code 5310.124 (relating to service agreement). 5310.35. Termination from program. (a) The community residential rehabilitation service (CRRS) must establish written termination criteria and procedures which must address the following two types of termination: (1) Planned termination of services. The client, CRRS staff and, if appropriate, others responsible for the client s welfare agree that the client should leave the program and have planned and prepared for the move. (2) Unplanned termination of services. The client drops out, requires hospital or nursing care, or demonstrates behavior that requires immediate removal. (b) If the planned termination is a result of the client not living up to the terms of the service agreement, the CRRS must notify the client in writing of the decision, give an exit date, the reason for termination and indicate any recourse the client has under the client grievance procedures. A copy of the notice must be sent to each case management or treatment agency, specified in the individual s service plan. (c) Within 2 weeks after the exit date, the CRRS must prepare a termination summary for each client terminated which must be included in the client s record and sent to the case management or treatment agency specified in the individual s service plan. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.126 (relating to termination from program). (211931) No. 258 May 96 5310-13
55 5310.36 MENTAL HEALTH MANUAL Pt. VII 5310.36. Provider review of services management. The community residential rehabilitation services (CRRS) procedures for an internal program monitoring process must be established and implemented. The procedures must include regular review of program activities and client service plans. The procedures must be designed to assess: (1) The quality and timeliness of the individualized residential service plan process. (2) The adequacy of program activities in meeting the anticipated outcomes expressed in the program goals and objectives. (3) Whether coordination of the residential program with the comprehensive program needs of the clients served occurs. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children). 5310.37. Program closure. When the community residential rehabilitation service (CRRS) intends to cease operation, the governing body shall provide at least 30 days written notice to that effect to each client, to all case management/treatment agencies, to the County Mental Health/Mental Retardation (MH/MR) Office, and to the Office of Mental Health. The notice must contain the projected closing date. The Director shall ensure that CRRS staff actively participate in the establishment and implementation of relocation plans for the clients. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.127 (relating to program closure). 5310.38. Notification in case of client emergency. (a) In case of an emergency, serious illness or injury, the unplanned termination, or the death or impending death of a client, the Director or the Director s designee shall notify as soon as possible but within 24 hours: (1) The person or persons designated by the client to be notified in such a case. (2) Any case management/treatment agency responsible for the client. (b) These notifications are subject to 5310.52 (relating to confiden- tiality). This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation services (CRRS) serving children). 5310-14 (211932) No. 258 May 96 Copyright 1996 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.39 5310.39. Service linkages. (a) The community residential rehabilitation service (CRRS) must establish: (1) Arrangements for emergency psychiatric care for clients, confirmed by a letter of agreement. (2) Arrangements with the persons or agencies responsible for the client s mental health treatment to ensure ongoing care and coordination between the treatment service and the CRRS. (3) Arrangements for emergency medical care for clients. (b) The CRRS must make arrangements with individual practitioners or health care services to ensure ongoing medical and dental care for each client. (c) All CRRS s must participate in the overall system of mental health care as defined in the County Mental Health/Mental Retardation (MH/MR) Plan. The CRRS must have a written agreement with the County MH/MR program which: (1) Specifies the relationship of the CRRS with the county program case management system. (2) Provides the continuity of care and information exchange. (3) Indicates the procedure for reporting by the CRRS to the County program of the following: (i) Client deaths. (ii) Fire or other disaster rendering a CRRS site uninhabitable. (iii) Program closure. (iv) Reported instances of violations of clients rights in the CRRS. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.128 (relating to service linkage). STAFFING 5310.41. Staffing and training. (a) The community residential rehabilitation service (CRRS) must have staff sufficient in number and qualifications to carry out the functions of CRRS which include supervision, personal assistance, and psychosocial rehabilitation services as indicated in the CRRS program description. (b) Full-care CRRS must have staff onsite whenever a client is in the residence. Clients designated capable of self-preservation with minimal assistance, shall be served only in a Full-care CRRS. (c) Partial-care CRRS must have staff onsite in a regularly scheduled staffing pattern including evenings and weekends. All CRRS where staff are on-call but not onsite for a portion of the time clients are in the residence are Partial-care CRRS. (211933) No. 258 May 96 5310-15
55 5310.51 MENTAL HEALTH MANUAL Pt. VII (d) CRRS staff must have work experience or training relevant to performing the tasks and carrying out the responsibilities specified in their job descriptions. (e) Clerical and other nonprogram staff must be employed as required to provide efficient program operations and to carry out the requirements of this chapter. (f) A mental health professional shall supervise the client service plan process and shall sign each individual residential service plan and service plan review. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.131 (relating to staffing). CLIENT RECORDS 5310.51. Case record. (a) A case record must be initiated at intake for each client, be maintained through the service period, and retained at least 5 years after the client leaves the program. (b) Each case record must include the following information: (1) The following client identifying information must be in the case record: (i) Name. (ii) Date of birth. (iii) Sex. (iv) Social security number. (v) Religious affiliation, if client chooses to state the affiliation. (vi) Date of entry into the CRRS. (2) The following emergency and contact information must be in the case record: (i) Name, address, telephone number, and contact person for the case management/treatment agency, if any. (ii) Name, address, and telephone numbers of client family members of significant others. (iii) Name and telephone number of the person designated by the client to be called in case of emergency. (iv) Name and telephone number of client s personal physician or therapist, if applicable. (3) The following medical/special information must be in the case record: (i) Any dietary restrictions. (ii) Medication regimen. (iii) Medical problems, such as diabetes, heart disease and epilepsy. (4) The following program information must be in the case record: 5310-16 (211934) No. 258 May 96 Copyright 1996 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.52 (i) Intake information. (ii) Individual s residential service plan, dated and signed. (iii) Name of the designated staff person for the client. (iv) Service plan reviews and other reports of performance and progress which must be dated and signed. (v) Referral activity, correspondence, reports of emergencies, accidents, and illness. (vi) Dated and signed annual reassessments. (vii) Dated and signed termination summary. (viii) A copy of written agreement between the CRRS and the client. (ix) Written consent for disclosure of information. (c) Client case records must be: (1) Legible and in ink or typewritten. (2) Organized and maintained according to a uniform format so that information is readily located. (d) The Director or his designee shall annually: (1) Review client case records to monitor the nature and quality of the recording. (2) Prepare a written summary of the review, including date, methods used and findings. (3) Make adjustments in recording procedures as needed. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.141 (relating to case record). 5310.52. Confidentiality. (a) All client records and information are confidential and may not be disclosed directly or indirectly without the written consent of the client except: (1) To those persons actively engaged in implementing the client s residential or overall treatment plan. (2) To persons using material from client records for teaching, training or research purposes, provided the use and dissemination of such data does not identify individual clients and a specific, written request stating the purpose for the disclosure is approved by the Director. (3) To any governmental or third party payor which funds in whole or in part the cost of the client s care. (4) To reviewers and inspectors when necessary to obtain certification as an eligible provider of services. (5) Under court order. (6) In accordance with other applicable Federal and State regulations. (211935) No. 258 May 96 5310-17
55 5310.61 MENTAL HEALTH MANUAL Pt. VII (b) Information made available under this section must be limited to that information necessary for the purpose for which the information is sought. (c) Annually, these confidentiality requirements must be reviewed with all staff, volunteers, students, and others, as applicable, and as they enter their position or are assigned to the CRRS. (d) The community residential rehabilitation service (CRRS) must keep client records within locked storage containers at all times when not in active use by program staff. (e) Client written consent is required to disclose information from the client s record. The consent form must include the: (1) Date and nature of request for information. (2) Name of the person, agency or organization to whom disclosure is made. (3) Type of information disclosed. (4) Dated signature of the client. (5) Dated signature of a witness. (6) Expiration date of consent form. (7) Statement of the client s right to revoke consent. (f) One copy of each signed consent form must be given to the client and one copy included in the client s case record. This section cited in 55 Pa. Code 5310.38 (relating to notification in case of client emergency); 55 Pa. Code 5310.91 (relating to community residential rehabilitation service (CRRS) serving children) and 55 Pa. Code 5310.142 (relating to confidentiality). CLIENT RIGHTS 5310.61. Nondiscrimination. The community residential rehabilitation service (CRRS) must have written policies and procedures to assure non-discrimination in the provision of services on the basis of age, race, color, religious creed, sex, national origin, ancestry or handicap. This section cited in 55 Pa. Code 5310.91 (relating to community residential rehabilitation service (CRRS) serving children) and 55 Pa. Code 5310.151 (relating to client rights). 5310.62. Client rights in residence. The community residential rehabilitation service (CRRS) must insure that each client: (1) Is free to communicate, associate, and meet privately with persons of the client s choice. 5310-18 (211936) No. 258 May 96 Copyright 1996 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.63 (2) Has access in reasonable privacy to a telephone in the building in which the client resides. A standard pay telephone may be used. Arrangements must be made by the CRRS with the clients for payment of long-distance calls. (3) Has access to the United States mails, may write and send uncensored mail at the client s own expense and may receive, unopened, mail addressed to the client. (4) Has the right to privacy of self and possessions. (5) Has the right to confidentiality concerning information about the client. (6) Is able to keep in the client s room personal possessions and items of furniture. (7) Is encouraged to exercise the client s rights as a citizen, for example, voting. (8) Is free to voice grievances and recommend changes in the policies and services of the CRRS in accordance with the client grievance procedure specified in 5310.11(d)(4) (relating to governing body). (9) Is not required to participate in research projects. (10) Has the right to manage personal financial affairs. (11) Has the right to practice the religion or faith of the client s choice. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children). 5310.63. Violation of client rights. No client may be subject to neglect, abuse, exploitation, or maltreatment by employes or other clients. The community residential rehabilitation service (CRRS) must have a written policy which prohibits such practices and which provides procedures for investigating, reporting and taking action on alleged violations of client rights. This procedure shall include review by the governing body of all reported instances of violations of client rights in the CRRS and reporting the results of the review to the County Mental Health/Mental Retardation (MH/ MR) Office. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children). 5310.64. Client right to inspect client record. The community residential rehabilitation service (CRRS) must have written policy and procedures to assure that clients have the right to inspect their records. Clients must be informed of this right at program enrollment and provided information on the procedure for requesting to inspect their own record. Clients may be denied access to inspect portions of the record under the following conditions: (1) The Director shall determine that: (257645) No. 298 Sep. 99 5310-19
55 5310.65 MENTAL HEALTH MANUAL Pt. VII (i) Disclosure of specific information would be a substantial detriment to the client; or (ii) Disclosure of specific information would identify and breach the confidentiality of other persons. (2) The denial of access must be recorded with justification in the client s record, and be dated and signed by the Director. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.151 (relating to client rights). 5310.65. Client right to compensation for work. The governing body shall assure that clients are paid in accordance with CFR Part 529 of the Federal Wage and Hours Regulations for all work performed that is of consequential economic benefit to the community residential rehabilitation service (CRRS) except: (1) Personal housekeeping tasks related directly to the client s personal space or possessions. (2) Shared responsibilities for regular household chores among a small group of residents. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.151 (relating to client rights). PHYSICAL FACILITIES STANDARDS 5310.71. Site control. Each site used by a community residential rehabilitation service (CRRS) to house clients must be owned, held, leased, or otherwise controlled by the provider or a provider-affiliate. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children); and 55 Pa. Code 5310.162 (relating to host homes). 5310.72. Safety procedures. (a) The community residential rehabilitation service (CRRS) staff shall arrange for the local fire department or another outside safety consultant to inspect and approve each physical site for fire safety and to determine the number, location and type of fire extinguishers and smoke detectors. This fire safety 5310-20 (257646) No. 298 Sep. 99 Copyright 1999 Commonwealth of Pennsylvania
Ch. 5310 REHAB. SERVICES/MENTALLY ILL 55 5310.73 inspection shall be done for initial occupancy and then at least every 2 years thereafter. All inspections must be documented. (b) At each CRRS site, emergency telephone numbers for the fire department, local police and on-call staff must be posted by the telephone. (c) The CRRS staff providing onsite client supervision must be instructed in the operation of the fire extinguishers. (d) Fire drills at each CRRS site must be: (1) Held every 2 months. (2) Held during the night at least semiannually. (3) Recorded, including date, time, time required for evacuation, and number of persons taking part. (e) Proper safeguards must be taken at all times against the fire hazards of smoking. (f) Fireplaces must be securely screened when in use. (g) The CRRS sites must be made safe by the elimination of or protection from such domestic hazards as slipping rugs and frayed or overloaded electrical cords. Stairways must have securely fastened handrails and adequate lighting for safe descent and ascent. (h) The CRRS must have a written plan and procedures for meeting emergencies, such as missing residents, fire, flood, strike, and internal or external disaster. These procedures must be reviewed with each new staff person and annually with all staff. (i) Each CRRS site with four or more clients must have an evacuation plan which contains a diagram of each floor showing exit paths, exit doors and location of fire extinguishers. A copy of this plan must be provided to each client and reviewed with the client upon entry to the site. This section cited in 55 Pa. Code 5310.91 (relating to special requirements for community residential rehabilitation service (CRRS) serving children). 5310.73. Physical plant requirements. (a) Each community residential rehabilitation service (CRRS) must have at least one furnished room available for the purpose of counseling and meetings. The room must assure privacy for participants in the counseling sessions or meetings, but may be a room generally used for other purposes. The room may not be a client or staff bedroom. (b) Each CRRS site must be in compliance with the requirements of the Department of Labor and Industry under act of April 27, 1927 (P. L. 465) (35 P. S. 1221 1235), and The Fire & Panic Act, except in first class, second class and second class A cities in which case the CRRS site shall be in compliance with the local fire codes. (257647) No. 298 Sep. 99 5310-21
55 5310.73 MENTAL HEALTH MANUAL Pt. VII (c) The sewage from each CRRS site must be disposed of in a manner that is in accordance with The Clean Streams Law (35 P. S. 691.1 691.1001), the Pennsylvania Sewage Facilities Act (35 P. S. 750.1 750.20), and the regulations of the Department of Environmental Resources. (d) Each CRRS site shall meet the following physical requirements: (1) There shall be an adequate supply of piped hot and cold water to each lavatory, bathtub, shower, kitchen sink and to dishwasher and laundry equipment. (2) Heating in rooms used by client must be maintained at a temperature not less than 65 F or, where there are clients 65 years of age and older, not less than 70 F. (3) Portable space heaters may not be used. Space heaters may be used if they are adequately vented, mounted in an exterior wall, installed with permanent connections and protectors and have been inspected and approved by the local fire department. (4) Woodburning and coal burning stoves must meet all applicable local enforcement codes and shall be inspected and approved by the local fire department. (5) In facilities where interior temperatures exceed 85 F a fan shall be provided in rooms where temperatures are over 85 F. Fans shall be contained within a protective housing. (e) Each CRRS site shall meet the following requirements for client residential living areas or spaces: (1) A living room or recreational area shall be available to clients. (2) Bedrooms shall be either single or double occupancy. A single occupancy room shall have 80 square feet or more of floor space. A double occupancy room shall have 60 square feet or more of floor space for each client. If a bedroom has a closet, up to 9 square feet may be counted in calculating the square footage of floor space provided there is sufficient floor space to accommodate all items required in paragraph (8). (3) Each bedroom shall have proper ventilation by means of either one window which can be opened without the use of tools from the inside or by other adequate means. (4) Space for personal property such as trunks, suitcases and seasonal clothing shall be provided in a dry, protected area which is accessible to clients. (5) There shall be at least one toilet and lavatory for every six clients. (6) There shall be at least one tub or shower for every six residents. (7) The bathroom, kitchen and main exit shall be directly accessible without going through client bedrooms. (8) Each client shall have available in the room the client occupies the items listed which shall be clean and maintained in good repair. 5310-22 (257648) No. 298 Sep. 99 Copyright 1999 Commonwealth of Pennsylvania